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Found 1611 results. Displaying page 44 of 108

  1. 22 March 2019

    www.redsolarcapital.com

    FMA warns that the website www.redsolarcapital.com is not associated with or operated by Red Solar Capital Limited, which is registered and licensed in Hong Kong.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 27 September 2019

    GL-FX

    GL-FX is not licensed or registered to provide financial services in either New Zealand or the United Kingdom. We are concerned that GL-FX may be operating a scam.
    Tags
    Suspected scam, Business, Scams
    Type
    Page

  3. 16 June 2021

    Catalist Markets Limited

    Catalist Markets Limited is a licensed market operator.
    Tags
    Market operator, Roles, Licensed entity, Business
    Type
    Page

  4. 29 June 2015

    NZX Obligations Review 2015

    The Financial Markets Conduct Act 2013 (FMC Act)
    requires the FMA to carry out a review, at least annually,
    of how well a licensed market operator is meeting the
    market operator obligations contained in section 314 of
    the FMC Act, and to publish a written report. This report was published in 2015.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  5. 1 June 2014

    Auditor regulation and oversight plan 2014 2017

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2014-2017 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  6. 19 August 2019

    Kernel Wealth Limited

    Kernel Wealth Limited, FSP644609, is a licensed managed investment scheme(MIS) manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  7. 27 June 2019

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  8. 29 June 2012

    NZX Obligations Review 2012

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2012.
    Tags
    Market operator, Roles, Reports and Papers, Business, News & Insights
    Type
    PDF

  9. 1 June 2012

    Auditor regulation and oversight plan 2012 2015

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2012-2015 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  10. 18 November 2019

    Audit investor guide 2019

    Companies listed on the share market must have their financial statements independently audited, and present a report from the auditor to investors in their annual report. This guide informs investors of the obligations imposed by the FMA on auditing of their financials.
    Tags
    Obligations, Auditors, Roles, Business
    Type
    PDF, Information Sheet

  11. 30 June 2019

    NZX Obligations Review 2019

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2019.
    Tags
    Market operator, Roles, Reports and Papers, Business, News & Insights
    Type
    Paper, PDF

  12. 4 December 2020

    Auditor Regulation Act Notice 2020

    This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
    Tags
    Auditors, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF, Notice

  13. 29 June 2013

    NZX Obligations Review 2013

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2013.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  14. 1 June 2013

    Auditor regulation and oversight plan 2013 2016

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  15. 30 November 2020

    Audit Quality Monitoring Report 2020

    Under the Auditor Regulation Act 2011 (AR Act),
    we must carry out a quality review of the systems,
    policies and procedures of registered audit firms
    and licensed auditors at least once every four
    years. Our reviews help improve audit quality and ensure
    audit opinions are reliable. This is our 2020 report.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF